DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
L••• S••••• • C••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Jan 3, 2005
RAUM
$207M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$207M as of Mar 26, 2026
Mar 29, 2012$259M then
HNW client RAUM$204M as of Mar 26, 2026
Mar 12, 2018$88.1M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Apr 4, 20134 then
Employees (5.A)4 as of Mar 26, 2026
Apr 4, 20135 then
Private funds: no history
RAUM +31% over the last fiscal year+8.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $923,100derivedHNW RAUM over HNW clients
- Average account
- $871,171derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M98%
- Individuals$3.3M1.6%
- Individual clients
- 17reported
- HNW clients
- 221reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 238reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• A••• S•••••Chartered Financial Analyst | Seattle, Wa | Jul 1, 2004 | 44 y | 0 |
| S•••• E•••••••• C•••• | Seattle, Wa | Mar 29, 2007 | 20 y | 0 |
| B•••• A•••••••Chartered Financial Analyst | Seattle, Wa | Mar 3, 2022 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••••• S••••• B••••• to P•••••• P•••••••• C••••••••• L••Oct 4, 2021 · RIA to RIA
- P••••••• E• H••• to P••••••• E• H•••• R••••••••• I••••••••• A••••••• L••Jul 7, 2006 · Other
Joined, latest
- S•••••• S••••• B••••• from F••••• I•••••••••Jul 20, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• S••••• E•••••••• · Chief Compliance Officercontrolsince 05/2006 · owns 5% to 10%
- S•••••• L•••• A••• · President, Managing Director, Chief Financial Officercontrolsince 01/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 47.0% to 98.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 233 to 238Mar 31, 2025 to Mar 26, 2026
- Corporate clients · 1.0 to unsetMar 31, 2025 to Mar 26, 2026
- HNW clients · 80 to 221Mar 31, 2025 to Mar 26, 2026
- Individual clients · 152 to 17Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $149M to $199MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $75.0M to $204MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $82.8M to $3.3MMar 31, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $9.8M to $8.3MMar 31, 2025 to Mar 26, 2026
- RAUM · $159M to $207MMar 31, 2025 to Mar 26, 2026
- Accounts · 243 to 233Nov 1, 2024 to Mar 31, 2025
- Charity clients · 1.0 to unsetNov 1, 2024 to Mar 31, 2025
- HNW clients · 99 to 80Nov 1, 2024 to Mar 31, 2025
- Individual clients · 141 to 152Nov 1, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Nov 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $163M to $149MNov 1, 2024 to Mar 31, 2025
- HNW RAUM · $82.9M to $75.0MNov 1, 2024 to Mar 31, 2025
- Individual RAUM · $87.5M to $82.8MNov 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $10.2M to $9.8MNov 1, 2024 to Mar 31, 2025
- RAUM · $173M to $159MNov 1, 2024 to Mar 31, 2025
- Wrap assets (manager) · $1.3M to $0Nov 1, 2024 to Mar 31, 2025
- Accounts · 247 to 243Mar 30, 2023 to Mar 26, 2024
- Individual clients · 145 to 141Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $153M to $163MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $76.6M to $82.9MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $82.4M to $87.5MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $8.4M to $10.2MMar 30, 2023 to Mar 26, 2024
- RAUM · $161M to $173MMar 30, 2023 to Mar 26, 2024
- Wrap assets (manager) · $1.2M to $1.3MMar 30, 2023 to Mar 26, 2024
- Accounts · 255 to 247Mar 31, 2022 to Mar 30, 2023
- HNW clients · 97 to 99Mar 31, 2022 to Mar 30, 2023
- Individual clients · 155 to 145Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $158M to $153MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $84.2M to $76.6MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $88.4M to $82.4MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $17.7M to $8.4MMar 31, 2022 to Mar 30, 2023
- RAUM · $176M to $161MMar 31, 2022 to Mar 30, 2023
- Wrap assets (manager) · $1.3M to $1.2MMar 31, 2022 to Mar 30, 2023
- Accounts · 262 to 255Mar 22, 2022 to Mar 31, 2022
- Charity clients · 2 to 1Mar 22, 2022 to Mar 31, 2022
- HNW clients · 36 to 97Mar 22, 2022 to Mar 31, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-838-8383reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lesa-sroufe-&-companyreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••CO.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-838-8383reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026